BreakGPT: A Large Language Model with Multi-stage Structure for Financial Breakout Detection

Trading range breakout (TRB) is a key method in the technical analysis of financial trading, widely employed by traders in financial markets such as stocks, futures, and foreign exchange. However, distinguishing between true and false breakout and providing the correct rationale cause significant challenges to investors. Recently, large language models have achieved success in various downstream applications, but their effectiveness in the domain of financial breakout detection has been subpar. The reason is that the unique data and specific knowledge are required in breakout detection. To address these issues, we introduce BreakGPT, the first large language model for financial breakout detection. Furthermore, we have developed a novel framework for large language models, namely multi-stage structure, effectively reducing mistakes in downstream applications. Experimental results indicate that compared to GPT-3.5, BreakGPT improves the accuracy of answers and rational by 44%, with the multi-stage structure contributing 17.6% to the improvement. Additionally, it outperforms ChatGPT-4 by 42.07%. Our Code is publicly available: https://github.com/Neviim96/BreakGPT

ChemLLM: A Chemical Large Language Model

Large language models (LLMs) have made impressive progress in chemistry applications, including molecular property prediction, molecular generation, experimental protocol design, etc. However, the community lacks a dialogue-based model specifically designed for chemistry. The challenge arises from the fact that most chemical data and scientific knowledge are primarily stored in structured databases, and the direct use of these structured data compromises the model's ability to maintain coherent dialogue. To tackle this issue, we develop a novel template-based instruction construction method that transforms structured knowledge into plain dialogue, making it suitable for language model training. By leveraging this approach, we develop ChemLLM, the first large language model dedicated to chemistry, capable of performing various tasks across chemical disciplines with smooth dialogue interaction. ChemLLM beats GPT-3.5 on all three principal tasks in chemistry, i.e., name conversion, molecular caption, and reaction prediction, and surpasses GPT-4 on two of them. Remarkably, ChemLLM also shows exceptional adaptability to related mathematical and physical tasks despite being trained mainly on chemical-centric corpora. Furthermore, ChemLLM demonstrates proficiency in specialized NLP tasks within chemistry, such as literature translation and cheminformatic programming. ChemLLM opens up a new avenue for exploration within chemical studies, while our method of integrating structured chemical knowledge into dialogue systems sets a new frontier for developing LLMs across various scientific fields. Codes, Datasets, and Model weights are publicly accessible at hf.co/AI4Chem/ChemLLM-7B-Chat.

The Information of Large Language Model Geometry

This paper investigates the information encoded in the embeddings of large language models (LLMs). We conduct simulations to analyze the representation entropy and discover a power law relationship with model sizes. Building upon this observation, we propose a theory based on (conditional) entropy to elucidate the scaling law phenomenon. Furthermore, we delve into the auto-regressive structure of LLMs and examine the relationship between the last token and previous context tokens using information theory and regression techniques. Specifically, we establish a theoretical connection between the information gain of new tokens and ridge regression. Additionally, we explore the effectiveness of Lasso regression in selecting meaningful tokens, which sometimes outperforms the closely related attention weights. Finally, we conduct controlled experiments, and find that information is distributed across tokens, rather than being concentrated in specific "meaningful" tokens alone.

Large Language Model Evaluation via Matrix Entropy

Large language models (LLMs) have revolutionized the field of natural language processing, extending their strong capabilities into multi-modal domains. Thus, it is vital to define proper and diversified metrics for the evaluation of LLMs. In this paper, we introduce matrix entropy, a novel metric rooted in information theory and geometry principles to quantify the data compression proficiency in LLMs. It reflects the model's ability to extract relevant information and eliminate unnecessary elements, thereby providing insight into the language model's intrinsic capability. Specifically, we demonstrate its applicability in both single-modal (language) and multi-modal settings. For language models, our findings reveal that the matrix entropy of representations follows a scaling law type reduction when the model scales up, serving as a complement to the traditional loss scaling law. For the multi-modal setting, we also propose an evaluation method based on matrix entropy for assessing alignment quality and we find that modern large multi-modal models exhibit great alignment performance.

Efficient Few-Shot Clinical Task Adaptation with Large Language Models

Few-shot learning has been studied to adapt models to tasks with very few samples. It holds profound significance, particularly in clinical tasks, due to the high annotation cost of medical images. Several works have explored few-shot learning on medical images, yet they still require a large number of medical images for pre-training models to gain domain-specific priors. Vision foundation models recently have achieved remarkable success in natural images. Hence, adapting rapidly advancing vision foundation models from natural images to few-shot clinical tasks holds great promise. MedFMC has recently organized a challenge to shed more light on this topic at NeurIPS 2023. In this work, we present our challenge solution. We observe that a simple variant of fine-tuning with partial freezing shows remarkable performance. Empirical evidence demonstrates that this approach could outperform various common fine-tuning methods under limited sample sizes. Additionally, we explore enhanced utilization of semantic supervision to boost performance. We propose a novel approach that contextualizes labels via large language models (LLMs). Our findings reveal that the context generated by LLMs significantly enhances the discrimination of semantic embeddings for similar categories, resulting in a notable performance improvement of 3%-5% in 1-shot settings compared to commonly employed one-hot labels and other semantic supervision methods. Our solution secures the 1st place in the MedFMC challenge.

AutoEval-Video: An Automatic Benchmark for Assessing Large Vision Language Models in Open-Ended Video Question Answering

We propose a novel and challenging benchmark, AutoEval-Video, to comprehensively evaluate large vision-language models in open-ended video question answering. The comprehensiveness of AutoEval-Video is demonstrated in two aspects: 1) AutoEval-Video constructs open-ended video-questions across 9 skill dimensions, addressing capabilities of perception, comprehension, and generation. 2) AutoEval-Video contains newly collected videos that cover over 40 distinct themes. To efficiently evaluate responses to the open-ended questions, we employ an LLM-based evaluation approach, but instead of merely providing a reference answer, we annotate unique evaluation rules for every single instance (video-question pair). To maximize the robustness of these rules, we develop a novel adversarial annotation mechanism. By using instance-specific rules as prompt, GPT-4, as an automatic evaluator, can achieve a stable evaluation accuracy of around 97.0\%, comparable to the 94.9\% - 97.5\% accuracy of a human evaluator. Furthermore, we assess the performance of eight large vision-language models on AutoEval-Video. Among them, GPT-4V(ision) significantly outperforms other models, achieving an accuracy of 32.2\%. However, there is still substantial room for improvement compared to human accuracy of 72.8\%. By conducting an extensive case study, we uncover several drawbacks of GPT-4V, such as limited temporal and dynamic comprehension, and overly general responses. Code is available at \href{https://github.com/Xiuyuan-Chen/AutoEval-Video}{\color{magenta}https://github.com/Xiuyuan-Chen/AutoEval-Video}.

Understanding Grokking Through A Robustness Viewpoint

Recently, an unusual phenomenon called grokking has gained much attention, where sometimes a neural network generalizes long after it perfectly fits the training data. We try to understand this seemingly strange phenomenon using the robustness of the neural network. Using a robustness viewpoint, we show that the popular $l_2$ weight norm (metric) of the neural network is actually a sufficient condition for grokking. As we also empirically find that $l_2$ norm correlates with grokking on the test data not in a timely way, we propose new metrics based on robustness and information theory and find that our new metrics correlate well with the grokking phenomenon. Based on the previous observations, we propose methods to speed up the generalization process. In addition, we examine the standard training process on modulo addition dataset and find that it hardly learns other basic group operations before grokking, including the commutative law. Interestingly, the speed up of generalization when using our proposed method can be partially explained by learning the commutative law, a necessary condition when the model groks on test dataset.

FD-Align: Feature Discrimination Alignment for Fine-tuning Pre-Trained Models in Few-Shot Learning

Due to the limited availability of data, existing few-shot learning methods trained from scratch fail to achieve satisfactory performance. In contrast, large-scale pre-trained models such as CLIP demonstrate remarkable few-shot and zero-shot capabilities. To enhance the performance of pre-trained models for downstream tasks, fine-tuning the model on downstream data is frequently necessary. However, fine-tuning the pre-trained model leads to a decrease in its generalizability in the presence of distribution shift, while the limited number of samples in few-shot learning makes the model highly susceptible to overfitting. Consequently, existing methods for fine-tuning few-shot learning primarily focus on fine-tuning the model's classification head or introducing additional structure. In this paper, we introduce a fine-tuning approach termed Feature Discrimination Alignment (FD-Align). Our method aims to bolster the model's generalizability by preserving the consistency of spurious features across the fine-tuning process. Extensive experimental results validate the efficacy of our approach for both ID and OOD tasks. Once fine-tuned, the model can seamlessly integrate with existing methods, leading to performance improvements. Our code can be found in https://github.com/skingorz/FD-Align.

OTMatch: Improving Semi-Supervised Learning with Optimal Transport

Semi-supervised learning has made remarkable strides by effectively utilizing a limited amount of labeled data while capitalizing on the abundant information present in unlabeled data. However, current algorithms often prioritize aligning image predictions with specific classes generated through self-training techniques, thereby neglecting the inherent relationships that exist within these classes. In this paper, we present a new approach called OTMatch, which leverages semantic relationships among classes by employing an optimal transport loss function. By utilizing optimal transport, our proposed method consistently outperforms established state-of-the-art methods. Notably, we observed a substantial improvement of a certain percentage in accuracy compared to the current state-of-the-art method, FreeMatch. OTMatch achieves 3.18%, 3.46%, and 1.28% error rate reduction over FreeMatch on CIFAR-10 with 1 label per class, STL-10 with 4 labels per class, and ImageNet with 100 labels per class, respectively. This demonstrates the effectiveness and superiority of our approach in harnessing semantic relationships to enhance learning performance in a semi-supervised setting.